Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Amato (Amato), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Amato recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,694,000.00 on October 17, 2024.
Breach of Fiduciary Duty, Fraudulent Inducement, Negligence, Breach of Contract, Violation of FINRA Rule 2010, Equity. February 2021.
